Compliance Officer

SUMMARY:
An elite high performing fund in the Investment Banking Sector is looking to add a Compliance Officer to their team to ensure that the compliance function provides for the overall business enhancement while ensuring regulatory requirements are adhered to.

POSITION INFO:

Qualifications:

• B. Com or LLB
• FAIS, RE1 and RE5 Regulatory Examinations
• CISA Accreditation

Skills and Experience:

• 3 Years’ Experience as a Compliance Officer within an Investment Banking environment.
• Must be a Compliance Officer registered with the FSCA
• Previous JSE Experience is a MUST.

Job description:

• Advise on queries relating to Exchange Control, FATCA, FAIS, FICA and JSE rules;
• Contribute to a culture of transformation goals by participating in organisations culture building initiatives.
• Provide input, review and ensure accurate reporting and articulation of compliance.
• Provide guidance in the completion of subsidiary compliance risk monitoring programs.
• Provide advice and/or input to internal stakeholders on possible contraventions of compliance risks through early detection.
• Maintain relationships with internal stakeholders by establishing partnerships in managing compliance risks.
• Engage with stakeholders formally through determining scope of work, understanding and identifying client needs.
• Execute the annual compliance risk-based program.
• Monitor compliance risks and determine the state of compliance in client facing Clusters.
• Ensure compliance requirements are adhered to and adequate compliance risk management practices implemented.
• Analysing situations or data that require an in-depth evaluation of multiple factors
• Drafting reports
• Influencing stakeholders to obtain buy-in for concepts and ideas
• Comparing two or more sets of information Working with a group to identify alternative solutions to a problem
• Consolidating data from various sources and identify/interpret trends
• Identifying and interpreting regulatory risk trends
• Managing stakeholder expectations
• Monitoring adherence and compliance
• Working across all risk categories
• Presenting to senior leaders

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